-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PBhm6/rAbl2uwPshDmR4yImRbxaD6e4YF6uOtqICGqCBXg1k/PhEGW4T9UuPzKs0 9sX+rg/QHDVBc037EWnkag== 0000940180-97-001206.txt : 19980102 0000940180-97-001206.hdr.sgml : 19980102 ACCESSION NUMBER: 0000940180-97-001206 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971211 FILED AS OF DATE: 19971231 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MACK CALI REALTY CORP CENTRAL INDEX KEY: 0000924901 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 223305147 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: SEC FILE NUMBER: 001-13274 FILM NUMBER: 97747179 BUSINESS ADDRESS: STREET 1: 11 COMMERCE DR STREET 2: 1ST FLOOR CITY: CRANFORD STATE: NJ ZIP: 07016 BUSINESS PHONE: 9082728000 MAIL ADDRESS: STREET 1: 11 COMMERCE DRIVE STREET 2: 1ST FLOOR CITY: CRANFORD STATE: NJ ZIP: 07016 FORMER COMPANY: FORMER CONFORMED NAME: CALI REALTY CORP /NEW/ DATE OF NAME CHANGE: 19960730 FORMER COMPANY: FORMER CONFORMED NAME: CALI REALTY L P DATE OF NAME CHANGE: 19941025 FORMER COMPANY: FORMER CONFORMED NAME: CALI REALTY CORP DATE OF NAME CHANGE: 19940608 COMPANY DATA: COMPANY CONFORMED NAME: MACK EARLE I CENTRAL INDEX KEY: 0001051613 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] DIRECTOR STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A BUSINESS ADDRESS: STREET 1: 11 COMMERCE DR STREET 2: 1ST FLOOR CITY: CRANFORD STATE: NJ ZIP: 07016 BUSINESS PHONE: 9082728000 MAIL ADDRESS: STREET 1: 11 COMMERCE DRIVE STREET 2: 1ST FLOOR CITY: CRANFORD STATE: NJ ZIP: 07016 3/A 1 AMENDMENT NO. 1 TO FORM 3 -- EARLE I. MACK U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 OMB APPROVAL ----------------------------- OMB NUMBER: 3235-0104 Expires: April 30, 1997 Estimated average burden hours per response ...... 0.5 ----------------------------- INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person MACK EARLE I. - -------------------------------------------------------------------------------- (Last) (First) (Middle) C/O MACK-CALI REALTY CORPORATION 11 COMMERCE DRIVE - -------------------------------------------------------------------------------- (Street) CRANFORD, NJ 07016 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 12/11/97 - -------------------------------------------------------------------------------- 3. IRS Number of Reporting Person (Voluntary) - -------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol MACK-CALI REALTY CORPORATION (CLI) - -------------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer: (Check all applicable) X Director 10% Owner ----- ------ Officer (give Other (Specify ----- title below) ------ below) ---------------------------------- - -------------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) 12/22/97 - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person - ----- Form filed by More than One Reporting Person - ----- - --------------------------------------------------------------------------------
Table 1 -- Non-Derivative Securities Beneficially Owned 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect Beneficial Ownership (Instr. 4) Beneficially Owned Direct (D) or (Instr. 5) (Instr. 4) Indirect (I) (Instr. 5) - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) SEC 1473 (8-92) ++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conversion 5. Ownership 6. Nature of cisable and Underlying Derivative Security or Exercise Form of Indirect Expiration (Instr. 4) Price of Derivative Beneficial Date Derivative Security: Ownership (Month Day Security Direct (D) (Instr. 5) Year) or ------- ------- ------------------------------------- Indirect (I) Date Expira- Amount (Instr. 5) Exer- tion or cisable Date Title Number of Shares - ------------------------------- ------- ------- ------------------------ ---------- ------------- --------------- ------------- UNITS OF LIMITED PARTNERSHIP INTEREST (1) (1) COMMON STOCK 731,969(1) D - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- ------------- EARLE MACK, UNITS OF LIMITED CHARITABLE PARTNERSHIP INTEREST (1) (1) COMMON STOCK 39,496 I TRUST A - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- ------------- EARLE MACK, UNITS OF LIMITED 4/30/92 PARTNERSHIP INTEREST (1) (1) COMMON STOCK 23,874 I TRUST - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- ------------- SERIES B PREFERRED UNITS OF LIMITED PARTNERSHIP INTEREST (2) COMMON STOCK (2) D - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- ------------- EARLE MACK, SERIES B PREFERRED UNITS OF CHARITABLE LIMITED PARTNERSHIP INTEREST (2) COMMON STOCK (2) I TRUST A - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- ------------- EARLE MACK, SERIES B PREFERRED UNITS OF 4/30/92 LIMITED PARTNERSHIP INTEREST (2) COMMON STOCK (2) I TRUST - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- ------------- WARRANTS TO PURCHASE UNITS OF LIMITED PARTNERSHIP INTEREST (3) COMMON STOCK 376,246(3) D - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- ------------- EARLE MACK, WARRANTS TO PURCHASE UNITS OF CHARITABLE LIMITED PARTNERSHIP INTEREST (3) COMMON STOCK 20,290(3) I TRUST A - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- ------------- EARLE MACK, WARRANTS TO PURCHASE UNITS OF 4/30/92 LIMITED PARTNERSHIP INTEREST (3) COMMON STOCK 12,227(3) I TRUST - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- ------------- DIRECTOR STOCK OPTIONS 12/12/ (RIGHT TO BUY) (4) 2007 COMMON STOCK 10,000 $38.75 D - ------------------------------- ------- ------- ------------------------ ---------- ------------ --------------- -------------
Explanation of Responses: (1) The Units of Limited Partnership Interest ("Units") represent interests in Mack-Cali Realty, L.P., a Delaware limited partnership, through which Mack- Cali Realty Corporation conducts its real estate activities. The Units shall be redeemable on a one-for-one basis for shares of Common Stock beginning on December 11, 1998. 423,517 of the reporting person's 731,969 Units are contingent and will convert, in whole or in part, into ordinary Units upon the satisfaction by December 11, 1999 of certain conditions relating to certain properties owned by Mack-Cali Realty Corporation. Until such conversion, the contingent Units shall not be entitled to any rights associated with the ordinary Units. (2) The Series B Preferred Units of Limited Partnership Interest (the "Series B Preferred Units") are immediately convertible into Units. 1,415 of the reporting person's 46,520 Series B Preferred Units are contingent and will convert, in whole or in part, into ordinary Series B Preferred Units upon the satisfaction by December 11, 1999 of certain conditions relating to certain properties owned by Mack-Cali Realty Corporation. Until such conversion, the contingent Series B Preferred Units shall not be entitled to any rights associated with the ordinary Series B Preferred Units. Currently, the reporting person's 45,105 ordinary Series B Preferred Units are convertible into 1,301,732 Units, the 2,535 Series B Preferred Units held by the Charitable Trust are convertible into 73,160 Units and the 1,492 Series B Preferred Units held by the 4/30/92 Trust are convertible into 43,059 Units. Any Units received upon conversion of Series B Preferred Units shall be redeemable into an equal number of shares of Common Stock beginning on December 11, 2000. (3) The Warrants to purchase Units of Limited Partnership Interest are exercisable on a one-for-one basis beginning on December 11, 1998 for a period of four years thereafter at a price of $37.80 per Unit. Any Units received upon exercise of the Warrants shall be immediately redeemable into Common Stock. (4) The options vest on December 12, 1998. /s/ Earle I. Mack 12/30/97 _______________________________ ______________ **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----